Here are some of our recent case studies:


Responsible for overall delivery of a $40M project for a global trading compliance project - Control Room, Employee Monitoring, Fixed Income and Equity Trading for both capital markets and wealth management divisions at a major International Bank and Brokerage. 

Our team of 4 consultants lead and conducted functional business reviews with stakeholders, documenting business requirements, analyzing issues, presenting and recommending business solutions that meet sponsor/stakeholder needs. Obtained sign off on timelines and took full accountability for project deliverables.

Major International Bank and US Broker Dealer - Trade Surveillance and Compliance


17a-5 - Internal Control Over Compliance -
Successfully designed and implemented a controls framework customized to ensure a broker dealer is continuously in compliance with the SEC requirements specific to Net Capital, Customer Protection, Quarterly Security Count and Account Statement Rules. Currently manage the ongoing controls testing and attestation program to ensure clients have a sustainable regulatory compliance solution.

major us broker dealer - Financial Control Framework -17a5

 

 

 

 


Major Global European Bank - IHC resolution planning

PM/BA and BAs 4  person team
Performed detailed requirements analysis, planning and coordination of activities for the Americas region. This involved active coordination with all relevant locations worldwide as well as various teams involving Sales, Front Office, Legal, Risk, Marketing, and Back Office operations for Wealth Management and Investment Banking divisions.


PM and SMEs  - 7 person project team
Responsible for formulation and implementation of RENTD and RMH methodologies, creation of the policies, procedures and frameworks for monitoring of the Volcker Compliance by desks in Trading Products. Wrote all BRDs and participated with internal IT teams in creation of FRDs. Built testing strategy and performed UAT functions. Continuing to help with ongoing IT implementation.

Major BROKER DEALER - Volcker VII - Front office implementation 


Led a Business Transformation and Process Re-engineering of the global standards for AML-KYC- Financial Crime Compliance which included policies & procedures, business process, people & systems. Managed the remediation efforts for all legal entities hierarchies and created the KYC profiles for all the local accounts including risk rating, KYCing, Screening and refreshing customers based on the new global standard. Drove the analysis and fine tuning of AML Transaction Monitoring Rules  such as Cash, Profiling, High Risk Geography, Funneling, Credit Cards, to address global and local regulatory requirements. Created Data Integrity Assessment Report for AML monitoring systems and facilitated communications with technology and business lines to understand current state source and target systems environments, process flows and data structures.

Major International Bank - AML / KYC - Business Transformation and Remediation


Major FBO - Remediation of Fed Reserve exam findings - reg reporting framework




 

Fed Remediation - Extensive experience with working with clients to remediate regulatory exams findings. Successfully designed and implemented a target operating model built on three foundational pillars: Automation, 2nd Level Control and Data Governance that closed all legacy FRB exam findings within an FBO's Finance department.


PM and BA SMEs - 5 person team
Responsible for the creation of all BRDs and FRDs for Reg YY and Reg W in the creation of a state of the art dashboard to automate manual quarterly reporting. Responsible for setting up UAT and rolling out the system to the business users.

Major MARKET MAKER - automation of Reg YY and Reg W reporting


From a FICC eTrading perspective - help to develop best practices and assist in the development of a formal RACI chart for their eTrading strategy.

Major MARKET MAKER - Fixed Income E-Trading Strategy


PM, BA and Developer
Lead project planning, business analysis, strategy development, software configuration and execution  for the implementation of Calypso Collateral Management Module in support of OTC Derivatives, Repo and US Securities Lending line of businesses.

Major Canadian Bank - Collateral Management IMPLEMENTATION - Calypso


BA and Developer
All MM Europe (IBUK London) products, Fixed Rate Contractual Funding deals, European Callable Deposits and all MM North America products to  Calypso - establishing direct connectivity to Swap Execution Facility

Calypso Money Market Migration